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Client Resources

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Regulatory Agencies

• Securities and Exchange Commission (SEC)
• The Financial Industry Regulatory Authority (FINRA)
• The North American Securities Administrators Association (NASAA)
• U.S. Commodity Futures Trading Commission
• Chicago Board Options Exchange, Incorporated (CBOE)
• Office of Foreign Assets Control
• Municipal Securities Rulemaking Board's (MSRB)

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Registration

• Investment Adviser Registration Depository (IARD)


• Investment Adviser Public Disclosure WebSite (IAPD)


• FINRA Central Registration Depository (CRD)
• FINRA Entitlement Process
• SEC Form ADV Reference Site
• SEC IARD Reference Site

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Federal Securities Laws

• The Investment Advisers Act of 1940 | Rules and Regulations
• The Investment Company Act of 1940 | Rules and Regulations
• Securities Act of 1933 | Rules and Regulations
• Securities Exchange Act of 1934 | Rules and Regulations